Page 16 - 期货和衍生品行业监管动态（2025年10月）
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期货和衍生品行业监管动态
The divisions will not recommend the CFTC initiate an enforcement action
against either entity or their participants for failure to comply with certain
swap-related recordkeeping requirements and for failure to report to swap data
repositories data associated with binary option transactions executed on or subject to
the rules of Electron Exchange DCM LLC and cleared through Electron Exchange
DCO LLC, subject to the terms of the no-action letter.
The no-action letter applies only in narrow circumstances and is comparable to
no-action letters issued for other similarly situated designated contract markets and
derivatives clearing organizations.
https://www.cftc.gov/PressRoom/PressReleases/9135-25
2. 美国商品期货交易委员会工作人员发布关于特定合约市场的征求意见文件
（2025 年 9 月 30 日）
美国商品期货交易委员会（CFTC）工作人员向期货佣金商、介绍经纪商、
指定合约市场、衍生品清算机构及注册期货业协会发布征求意见文件，就特定合
约市场在政府拨款中断期间应对潜在市场中断情况的准备工作提供指引。
该征求意见文件由市场参与者部、清算与风险部及市场监管部联合发布，提
醒相关机构需要为客户、其他市场参与者及清算会员在特定合约市场的交易和清
算业务中可能出现的所有可预见情况做好应对准备。本征求意见文件旨在提醒各
方注意现行监管要求，并未创设新的义务。
CFTC Staff Issues Advisory on Certain Contract Markets (2025/9/30)
The Commodity Futures Trading Commission staff today issued an advisory to
futures commission merchants, introducing brokers, designated contract markets,
derivatives clearing organizations, and registered futures associations about certain
contract markets regarding preparations with respect to potential market disruption
2
